CFTC

What Gary Gensler’s Confirmation As SEC Chair Means For Crypto
Risk & Compliance

What Gary Gensler’s Confirmation As SEC Chair Means For Crypto

He will be the first cryptocurrency policy and blockchain technology expert to take the reins at the SEC.
By Vincent Ryan | April 16, 2021
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Biden to Name Gary Gensler as SEC Chairman
Regulation

Biden to Name Gary Gensler as SEC Chairman

The appointment of the former CFTC chief "is expected to put an end to the four years of rule-easing" that Wall Street has enjoyed under Jay Clayton.
By Matthew Heller | January 13, 2021
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CFTC Urges Changes to Climate Risk Disclosure
Regulation

CFTC Urges Changes to Climate Risk Disclosure

Current rules have "not resulted in disclosures of a scope, breadth, and quality to be sufficiently useful to market participants and regulators."
By Matthew Heller | September 10, 2020
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BNP Paribas Settles Benchmark Manipulation Case
Risk & Compliance

BNP Paribas Settles Benchmark Manipulation Case

BNP Paribas personnel deliberately traded to move the ISDAfix benchmark in a direction at the precise time it was being set, says the CFTC.
By William Sprouse | August 30, 2018
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Tech Upgrade Commands CFO’s Focus
Technology

Tech Upgrade Commands CFO’s Focus

Amy Shelly of Options Clearing Corp. faces several challenges in replacing the organization's outdated platform.
By David McCann | December 12, 2017
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Citigroup Fined $25M for ‘Spoofing’ Futures
Risk & Compliance

Citigroup Fined $25M for ‘Spoofing’ Futures

The first-ever spoofing case against a bank alleges traders placed large futures orders to create a false appearance of market interest in a commodity.
By Matthew Heller | January 19, 2017
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Goldman Sachs to Pay $120 Million in Rate-Manipulation Case
Risk & Compliance

Goldman Sachs to Pay $120 Million in Rate-Manipulation Case

The CFTC orders the investment bank to pay up in response to charges that traders deliberately influenced a U.S. global dollar benchmark.
By Sean Allocca | December 22, 2016
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Credit Suisse Fined $665K Over Futures Trading
Risk & Compliance

Credit Suisse Fined $665K Over Futures Trading

The CFTC also said Credit Suisse submitted false or misleading information to show it was in compliance with position limit rules.
By Matthew Heller | March 22, 2016
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Deutsche Bank to Pay $2.5B in LIBOR-Rigging Case
Regulation

Deutsche Bank to Pay $2.5B in LIBOR-Rigging Case

The settlement is the largest among the five banks that have admitted LIBOR-rate misconduct.
By Matthew Heller | April 23, 2015
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End Financial Regulatory Patchwork: Volcker
Risk & Compliance

End Financial Regulatory Patchwork: Volcker

A report by the Volcker Alliance calls for a "long-delayed" reshaping of the U.S. bank regulatory system.
By Katie Kuehner-Hebert | April 20, 2015
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Commodities and Banks: Metal Bashing
Supply Chain

Commodities and Banks: Metal Bashing

Insinuations of market manipulation accelerate another upheaval in finance.
By Economist Staff | August 19, 2013
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Watchdogs Put Closer Eye on Broker-Dealer Accounting
Regulation

Watchdogs Put Closer Eye on Broker-Dealer Accounting

Regulators like the FINRA are taking a closer look at broker-dealers just as accounting missteps are on the rise.
By Kathy Hoffelder | May 10, 2012
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